Handling of School-related Complaints...2015/12/09 · Organise training programmes on complaint handling and communication for school staff Give advice on complaints handling Project

Handling of School-related

Complaints

Special Duty Unit 1 School Administration Division

Education Bureau 9.12.2015

Change ! Socio-political environment Public’s/Parents’ expectations Role of

mass media councillors statutory bodies political parties other organisations

Complaint An expression of dissatisfaction that need a response Complainant is dissatisfied with products / services policies / measures performance / achievement staff hardware / environment

Complaint Complaints provide learning

opportunities and drive improvement. Complaints management is an

integral part of quality service and good governance.

Modes of Complaints

Verbal Phone Face to face

Written Letter Fax e-mail SMS / WhatsApp

Common Types of School-related Complaints

Mal-administration Poor performance Poor manner Misconduct Enrolment Discipline Staff Appointment

Common Types of School-related Complaints

Parents/students against teachers/school on teaching performance test/exam results student discipline and guidance malpractices/maladministration

Teachers/staff against school/principal on unfair treatment/appraisal dismissal/termination of contract malpractices/maladministration

Guidelines on Complaint Handling

Schools should handle complaints about daily operations and internal affairs in accordance with the Education Ordinance, Education Regulations, Codes of Aid, relevant circulars, guidelines and codes of practice to ensure compliance with relevant requirements


For schools not participating in the Pilot Project / Project on

Enhancement of Complaint Management in Schools


Aided Schools (also for reference of Govt, Caput & DSS schools) School Administration Guide

Sect 4.4 Strategies for Handling Complaints

學校行政手冊

第4.4節處理投訴的策略


Government Schools EDB Internal Circular No. 8/2009:

Public Complaints Procedure EDB Internal Circular No. 1/2003:

Staff Complaints Procedure Civil Service Branch Circular No. 7/2012:

Reporting of Criminal Offences including Corruption-related Offences

Other References

EDB Circular No. 1/2012: Handling Child Abuse and Domestic Violence Cases

EDB Circular No. 14/2001: Commencement of the Code of Practice on Education

EDB Circular No. 33/2003: The Principle of Equal Opportunities

EDB Circular No. 2/2009: Amendment to the Sex Discrimination Ordinance (Cap. 480)

Other References

EDB Circular No. 25/2008: Race Discrimination Ordinance

EDB Circular No. 24/2008: Trading Operations in Schools

EDB Circular No. 14/2003: Acceptance of Advantages and Donations by Schools and their Staff

EDB Circular No. 4/2013: Procurement Procedures in Aided Schools

Handling of School-related Complaints by REOs

Emergent/serious cases or violation of Education Ordinance, Code of Aid or EDB guidelines

REO conducts investigations direct and issue written reply to complainant

If complainant does not accept the results, the appeal will be handled and replied by another team/officer of REO


Issues relating to school internal matters or day-to-day operation REO requests school to provide investigation

reports or responses

REO reviews reports from schools, conducts investigations if required and issues written reply to complainant

If complainant does not accept the results, the appeal will be handled and replied by another team/officer of REO


Time frame for written replies to complainants

Govt schools : 30 days Non-govt schools : 60 days ( Interim reply can be issued if necessary )

Complaint Handling Tasks

Identify allegations Collect information and evidence

Interview complainant and concerned parties Check documents/records/reports

Compile investigation report

Allegations substantiated or not Recommendations

Reply to complainant Follow-up / Remedial measures (if any)

Pilot Project on Enhancement of Complaint Management in Schools

2012/13: Phase 1 - 80 schools 2013/14: Phase 2 - 101 schools 2014/15: Phase 3 - 170 schools

To try out the revised complaint handling mechanism recommended by the Committee on Enhancement of Complaint Management in Schools chaired by Mrs Alice TAI

Evaluation results are positive

Project on Enhancement of Complaint Management in Schools

2015/16: To disseminate pilot experiences to non-pilot schools > 250 schools joined the Project by Sept 2015

To set up school-based complaint handling mechanism in 2015/16

To implement the Enhanced School Complaint Management Arrangements in 2016/17


Circular letter will be issued to invite all non-project schools to join the project in 2015/16 or 2016/17

Provide Guidelines for Handling School Complaints Assist schools to compile the school-based

guidelines for complaint handling Organise briefing sessions for stakeholders Organise training programmes on complaint

handling and communication for school staff Give advice on complaints handling


Supporting measures provided by EDB


Guidelines for Handling School Complaints 學校處理投訴指引

for schools participating in the Pilot Project / Project on Enhancement of Complaint Management in Schools

will apply to all schools by stages separate version for Govt schools

Workshop/Seminar Target participants Duration

1. Communication Skills in Handling Complaints for Frontline Staff

Frontline staff (including clerical staff) of schools (half-day)

2. Preventing and Resolving School Complaints

• Principals, teaching staff and admin staff • IMC/SMC members • Representatives of SSBs

(1 day)

3. Replies to Enquiries / Complaints

• Principals, teaching staff and admin staff • Representatives of SSBs (1 day)

4. One-day Mediation Skills Workshop


(1 day)

5. 40-hour Mediation Training Course


(40 hours)

6. Thematic Seminar and Sharing Sessions

Speakers include officers from EOC and the Office of the Privacy Commissioner for Personal Data.

Training Programmes

Current Arrangements

With consent from complainant, EDB

refers the complaint to school for follow up Schools handle

according to school based mechanism

EDB examines reports/ responses and replies to

the complainant

Problems indirect,

time-consuming, communication breakdown, not in focus,

causing repeated complaints

Schools reply to complainant(s) direct

Schools handle according to school-based mechanism

Designated staff/task force to

conduct investigation /follow up

Schools submit reports/responses to

EDB

Enquiries/complaints lodged to schools

Enquiries/complaints lodged to EDB

Designated staff/task force to

conduct investigation /follow up

Enhanced School Complaint Management Arrangements 優化學校投訴管理安排

Complaints about the Education Ordinance, education polices, or EDB services

Handled by EDB

Complaints relating to daily operations and internal affairs of schools

Handled by school (EDB may intervene for cases involving serious maladministration, student safety, etc.)

Enhanced School Complaint Management Arrangements

Guiding Principles

1. Handling by appropriate parties

2. Timely and efficient handling

3. Clear and transparent mechanism

4. Fair and impartial handling

Informal Complaint Handling Procedures

Person concerned accepts school’s response

No formal investigation

is needed

Person concerned lodges a formal complaint

Yes

No

Handle inquiries, opinions or informal complaints

Formal Complaint Investigation Procedures

Appoint appropriate staff to conduct formal investigation and reply to the complainant

Complainant accepts the investigation result

Complainant provides reasons or new evidences for appeal

Appoint appropriate staff to conduct an investigation and reply to the complainant

Complainant accepts the appeal result

Close case

Complainant lodges new allegations, which should be handled as a separate case

Yes

Yes

No

No

Inve

stig

atio

n St

age

Appe

al S

tage

Handling of Complaints by School

1. Set up clear and efficient complaint handling procedures

Establish school-based mechanism with clear guidelines setting out policies, procedures and performance standards

Be fair and objective Consult teachers, parents and other stakeholders Easy to access and known to all Review regularly and revise as appropriate


2. Assign suitable person(s) to handle complaints

Handling staff should be senior than the one being complained

(e.g. if the Principal is the subject of complaint, the case should be handled by the SMC/IMC/SSB)

Investigation task force can be formed and outside parties can be involved as appropriate

Training and support should be rendered to those who handle complaints


To avoid possible conflict of interest and misunderstanding, any staff member who is the subject of a particular complaint should NOT handle the case file concerned, supervise the investigation, or sign any correspondence to be directed

to the complainant.


Where a complaint involves persons known in their private capacity to a staff member responsible for handling the case, or concerns matters in which the staff member has a vested interest, he/she should declare interest

If a case of conflict or potential conflict of interest is established, the staff member concerned should be denied further access to any information relating to that complaint


3. Respond to the complainants readily Complainant should be informed of the result of

the investigation and the proposed remedial actions, if any, as soon as possible

Contact point(s) should be provided in the reply If more time is needed for investigation, the

complainant should be informed of the delay and the reason for it

Also respond to the media promptly if the case has been reported in the media


4. Make referral whenever necessary Nature Referred to

Corporal Punishment Medical doctors Police SWD

Child/Sexual Abuse Police SWD

Drug Abuse Police

Corruption ICAC


4. Make referral whenever necessary Nature Referred to

Sexual Harassment Handled by school-based complaint handling policy first

If cannot be resolved, may consider referral to EOC


5. Solicit suggestions from the complainants

Complainants should be encouraged to suggest ways for improvement

Communication enhances mutual understanding and collaboration


6. Keep confidentiality for all complaint cases

Complaints should be handled in accordance with the Personal Data (Privacy) Ordinance

Only those who need the information to investigate and respond to a complaint should have access to the case information

Information gathered during investigation should only be used for internal purposes to respond to the complaint and to implement remedial measures


7. Document the information properly All complaints, including verbal complaints,

should be properly documented A complaints register should be maintained for

monitoring progress recording case background, investigation

methods, findings, recommendations and follow-up actions


8. Provide a channel for appeal Complainants should be informed of the

channel of appeal if they do not accept the investigation results

Appeal cases should be handled by a different team/staff


Some complaints may remain unsettled after the investigation and appeal stages

Complainants or schools/EDB may resort to mediation request for a review of the complaint cases

A Panel of Review Boards on School Complaints has been set up by EDB, which is composed of independent persons from education and non-education sectors

The Panel may form a Review Board to review individual complaint cases


The Review Board will examine complaint handling procedures investigation results

The Review Board will make recommendations to the Permanent Secretary for Education on whether to close the case settle the disputes through mediation take any follow up / remedial measures initiate a re-investigation


The proposed procedures are not applicable to: complaints lodged by school staff

(staff complaints) complaints relating to ongoing legal

proceedings complaints under the jurisdiction of other

organisations / government departments complaints governed by other ordinances /

legal requirements in HK


Schools may not handle: anonymous complaints complaints not made personally / with written

consent of the aggrieved person(s) (except for those who are minor or intellectually disabled)

complaints involving any incidents which occurred more than one year ago

complaints with insufficient information


Handling Unreasonable Behaviours Include policy against complainant’s

unreasonable behaviours in the school-based complaint handling mechanism

Stakeholders should be consulted and informed of the policy on unreasonable behaviours

Designated staff define whether a complainant’s behaviour is unreasonable and decide what measures should be taken, e.g. cease handling the case or refer the case to the police

Webpage of Project on Enhancement of Complaint Management in Schools： English

http://www.edb.gov.hk/en/sch-admin/admin/pilot-scheme/index.html

Chinese http://www.edb.gov.hk/tc/sch-admin/admin/pilot-scheme/index.html






http://www.edb.gov.hk/tc/sch-admin/admin/pilot-scheme/index.html





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Summing Up

Handling Complaints: 1. Set up clear and efficient complaint handling

procedures 2. Assign suitable person(s) to handle complaints 3. Respond to the complainants readily 4. Make referral whenever necessary 5. Solicit suggestions from the complainants 6. Keep confidentiality for all complaint cases 7. Document the information properly 8. Provide a channel for appeal

Summing Up Preventing Complaints Transparent mechanism

everyone knows his/her role and position clearly Well established communication system

avoid misunderstanding Clear procedures and guidelines

facilitate handling of enquires and complaints Well trained staff

positive attitudes and better interpersonal skills Emphasis on initial contact

assign appropriate gate keepers

Summing Up

A Proactive Stance Attitude Communication Transparency

Fairness Acceptance Sensitivity Tactic

Thank you !

Documents

Handling of School-related Complaints...2015/12/09 · Organise training programmes on complaint handling and communication for school staff Give advice on complaints handling Project